Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raymond? Claim Your ProfileRaymond Mockmore is a financial advisor with Thoroughbred Financial Services, LLC, located in Brentwood, TN. Raymond has over 40 years of experience in the financial services industry. Raymond is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 3, 7, 8, 63 and 65 licenses. Raymond specializes in portfolio management for individuals and businesses, as well as financial planning and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TN
06/08/2009 - Present
Thoroughbred Financial Services, LLC (BRENTWOOD TN)
TN
08/17/2001 - 06/08/2009
CAMBRIDGE WAY, INC. (BRENTWOOD TN)
NJ
08/14/2000 - 09/28/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
07/13/1984 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NA
02/18/1981 - 07/30/1984
DEAN WITTER REYNOLDS INC.
NA
09/16/1977 - 03/13/1981
BACHE HALSEY STUART SHIELDS INCORPORATED
NA
02/22/1977 - 09/16/1977
BACHE HALSEY STUART INC.
NA
07/22/1976 - 03/07/1977
W. N. ESTES & COMPANY, INC.
IA
Issued 11/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/1986
Series 3 - National Commodity Futures Examination
BC
Issued 06/13/1977
PC - AMEX Put and Call Exam
BC
Issued 07/17/1976
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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